NO.PZ2016040301000011
问题如下：
Which one of the following actions will help to ensure the fair treatment of brokerage firm clients when a new investment recommendation is made?
选项：
A.
Informing all people in the firm in advance that a recommendation is to be disseminated.
B.
Distributing recommendations to institutional clients prior to individual accounts.
C.
Minimizing the time between the decision and the dissemination of a recommendation.
解释：
C is correct.
This question, which relates to Standard III(B) –Fair Dealing, tests the knowledge of the procedures that will assist members and candidates in treating clients fairly when making investment recommendations. The step listed in C will help ensure the fair treatment of clients. Answer A may have negative effects on the fair treatment of clients. The more people who know about a pending change, the greater the chance that someone will inform some clients before the information’s release. The firm should establish policies that limit the number of people who are aware in advance that a recommendation is to be disseminated. Answer B, distributing recommendations to institutional clients before distributing them to individual accounts, discriminates among clients on the basis of size and class of assets and is a violation of Standard III(B).
fair dealing提到，premium level service is ok 理解有时候可以差别对待，给更高级的客户一些服务。什么情况下可以呢？（书上说是不影响其他客户，但如何判断呢，可以举例吗？
像这题就不行。
